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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2022 - Present (2 years)BHILLTOP SECURITIES INC. (CRD# 6220)2008 - 2022 (13 years)BM.L. STERN & CO., LLC. (CRD# 8327)1996 - 2008 (12 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)1992 - 1996 (3 years)IAHILLTOP SECURITIES INC. (CRD# 6220)2009 - 2022 (13 years)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
Disclosure(s)
View By:
2/18/2010
Customer Dispute
Settled
11/6/2007
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 10/6/2022
IA
Nevada 9/22/2022
B
Alaska 9/1/2022
B
Nevada 10/5/2022
B
Arizona 9/1/2022
B
New Jersey 9/1/2022
B
California 9/1/2022
B
New York 9/1/2022
IA
California 9/1/2022
B
North Carolina 10/10/2022
B
Colorado 9/1/2022
B
Ohio 9/1/2022
B
Connecticut 9/1/2022
B
Oklahoma 9/1/2022
B
Florida 9/1/2022
B
Oregon 9/1/2022
B
Idaho 9/14/2022
B
Pennsylvania 9/1/2022
B
Illinois 10/13/2022
B
South Dakota 9/1/2022
B
Iowa 9/1/2022
B
Texas 9/1/2022
B
Kansas 9/1/2022
B
Utah 9/1/2022
B
Maine 9/2/2022
B
Virginia 10/6/2022
B
Maryland 9/1/2022
B
Washington 9/1/2022
B
Massachusetts 7/17/2024
B
Wyoming 9/1/2022
B
Missouri 9/1/2022

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WEDBUSH SECURITIES INC. (CRD#:877)
LAS VEGAS, NV
Las Vegas, NV
Registered with this firm since 9/1/2022
B
WEDBUSH SECURITIES INC. (CRD#:877)
LAS VEGAS, NV
Las Vegas, NV
Registered with this firm since 9/1/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/01/2009 - 09/30/2022 HILLTOP SECURITIES INC. (CRD#:6220) Las Vegas, NV
B
 12/23/2008 - 09/30/2022 HILLTOP SECURITIES INC. (CRD#:6220) Las Vegas, NV
IA
 01/28/2004 - 12/31/2008 M. L. STERN & CO, LLC. (CRD#:8327) BEVERLY HILLS, CA
B
 06/28/1996 - 12/31/2008 M.L. STERN & CO., LLC. (CRD#:8327) BEVERLY HILLS, CA
B
 12/21/1992 - 06/27/1996 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) BALTIMORE, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.